Matthew William Willis

Current Employers

Rockefeller Capital Management

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2024-02-23
TX	RA	APPROVED_RES	2024-02-23

CA RA
APPROVED

Since 2024-02-23
TX RA
APPROVED_RES

Since 2024-02-23

Branch Locations

1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States

Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-10-06
TX	RA	APPROVED	2023-10-06

CA RA
APPROVED

Since 2023-10-06
TX RA
APPROVED

Since 2023-10-06

Branch Locations

1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Beverly Hills	CA	10/2014	11/2016
Wells Fargo Clearing Services, Llc	Beverly Hills	CA	11/2016	10/2023
Rockefeller Financial Llc	Los Angeles	CA	10/2023	Present
Rockefeller Capital Management	Los Angeles	CA	02/2024	Present

10/2014 → 11/2016

Wells Fargo Advisors, Llc

Beverly Hills, CA
11/2016 → 10/2023

Wells Fargo Clearing Services, Llc

Beverly Hills, CA
10/2023 → Present

Rockefeller Financial Llc

Los Angeles, CA
02/2024 → Present

Rockefeller Capital Management

Los Angeles, CA

Previous Registrations

2014-10-09 → 2023-10-17

Wells Fargo Clearing Services, Llc

Beverly Hills, CA

Los Angeles, CA

Beverly Hills, CA

Manhattan Beach, CA

El Segundo, CA

Los Angeles, CA

El Segundo, CA

Other Businesses

1.Glacier Fund 1 LLC; Investment related; Indianapolis, IN; Rental property; Owner; 01/28/2022; 1 hour per month and 0 hours during trading hours. 2.Glacier Fund 1 LLC; Investment related; Indianapolis, IN; Rental property; Owner; 09/12/2022; 1 hour per month and 0 hours during trading hours. 3.Frost Fund LLC; Investment related; Kansas City, KS; Rental property; Owner; 02/25/2022; 1 hour per month and 0 hours during trading hours. 4.Frost Fund LLC; Investment related; Blue Springs, MO; Rental property; Owner; 02/28/2024; 1 hour per month and 0 hours during trading hours. 5. Glacier Ridge Investments LLC; Investment related; Redondo Beach, CA; Managing Member; 01/16/2026; 0 hours a month and 0 hours during trading hours; LLC is a holding company for High Arctic LLC and Polar Bay LLC. 6. High Arctic LLC; Investment related; Los Angeles, CA; Managing Member; 01/22/2026; 0 hours a month and 1 hour during trading hours; LLC was created to hold a rental property. 7. Polar Bay LLC; Investment related; Lakewood, CA; Managing Member; 01/16/2026; 0 hours a month and 1 hour during trading hours; LLC was created to hold a rental property. 5.Frost Fund LLC; Investment related; Gladstone, MO; Rental property; Owner; 02/29/2024; 1 hour per month and 0 hours during trading hours. 6.Everfrost Ventures LLC; Investment related; Redondo Beach, CA; Rental property; Owner; 10/04/2024; 1 hour per month and 0 hours during trading hours.